The Standards of Practice Handbook is least likely to require a member of member’s firm to disclose which of the following to clients and prospective clients（）
A: Underwriting relationships.
B: Market-making activities.
C: Obligation to abide by CFA Institute Code of Ethics and Standards of Professional Conduct.
A: Underwriting relationships.
B: Market-making activities.
C: Obligation to abide by CFA Institute Code of Ethics and Standards of Professional Conduct.
举一反三
- According to the Practice of Handbook, when an inquiry into a member's professional conduct is initiated, which of the following most likely initially conducts the investigation that may include requesting a written explanation form the member or candidate A: The CFA Institute Designated Officer. B: The Disciplinary Review Committee. C: The CFA Institute Professional Conduct staff.
- With respect to the Standards relating to preservation of confidentiality, which of the following statements is least accurate Members and candidates must keep information about all former current, and prospective clients confidential unless :（） A: the information concerns illegal activities on the part of the clients. B: disclosure is required by firms' policies. C: the clients permit disclosure of the information.
- Which of the following is least likely to occur during a ʺhardʺ insurance market period? A: difficulty in obtaining insurance B: tightening underwriting standards C: higher insurer profits D: increasing premiums
- Sean Dahib, CFA, is in charge of the compliance program at his investment firm. According to the Standards of Practice Handbook, as a supervisor, Sean should least likely perform which of the following activities（） A: Respond promptly to all violations. B: Disseminate the contents of the program to all personnel. C: Periodically update the procedures to ensure that the measures are adequate under the law.
- As countries adopt the Global Investment Performance Standards ( GIPS), which of the following is least likely to occur A: The trend toward cross country investments will decline. B: Competition in the global investment industry will be enhanced. C: Existing and potential clients will be able to make fair and unambiguous comparisons among investment firms.